0001683168-18-002956.txt : 20181004 0001683168-18-002956.hdr.sgml : 20181004 20181004161404 ACCESSION NUMBER: 0001683168-18-002956 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181001 ITEM INFORMATION: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers FILED AS OF DATE: 20181004 DATE AS OF CHANGE: 20181004 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Sonoma Pharmaceuticals, Inc. CENTRAL INDEX KEY: 0001367083 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 680423298 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-33216 FILM NUMBER: 181108059 BUSINESS ADDRESS: STREET 1: 1129 N. MCDOWELL BLVD. CITY: PETALUMA STATE: CA ZIP: 94954 BUSINESS PHONE: 707-283-0550 MAIL ADDRESS: STREET 1: 1129 N. MCDOWELL BLVD. CITY: PETALUMA STATE: CA ZIP: 94954 FORMER COMPANY: FORMER CONFORMED NAME: Oculus Innovative Sciences, Inc. DATE OF NAME CHANGE: 20060622 8-K 1 sonoma_8k.htm CURRENT REPORT

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934

Date of Report (Date of earliest event reported) October 1, 2018

SONOMA PHARMACEUTICALS, INC.

(Exact name of registrant as specified in its charter)

Delaware	001-33216	68-0423298
(State or other jurisdiction	(Commission	(IRS Employer
of incorporation)	File Number)	Identification No.)

1129 N. McDowell Blvd.

Petaluma, CA 94954

(Address of principal executive offices)

(Zip Code)

(707) 283-0550

(Registrant’s telephone number, including area code)

Not applicable.

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2). Emerging growth company o

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. o

Item 5.02

Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

On October 1, 2018, we restructured certain business units. We expanded the role of our Chief Operating Officer, Mr. Marc Umscheid, to include certain oversight functions of our dermatology unit. With this increase in responsibility we increased Mr. Umscheid’s base salary to $250,000.

We also promoted Mr. Tom Devine to be our General Manager for our re-branded Sonoma Dermatology unit, which was previously IntraDerm™ Pharmaceuticals. We promoted Melissa With to be our General Manager of our Acute Care and Trade unit.

On October 1, 2018, we terminated the President of our dermatology unit, Mr. Jeffrey Day, effective immediately. We are negotiating a separation agreement with Mr. Day which will outline whether Mr. Day is entitled to any severance payments or compensation under his employment agreement.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

	Sonoma Pharmaceuticals, Inc.
	(Registrant)

Date: October 4, 2018	By:	/s/ Robert Miller
	Name: Title:	Robert Miller Chief Financial Officer